SEC Form 4 · accession 0001104659-18-022600
Axsome Therapeutics, Inc. · AXSM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Herriot Tabuteau
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Mar 12, 2018
Accepted (ET)
Apr 5, 2018 · 10:05 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001579428
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $2.85 | Mar 12, 2018 | A | 187,628 | A | — | Mar 11, 2028 | Common Stock | 187,628 | 187,628 | D |
Explanation of responses
- F1The option will vest in substantially equal quarterly installments over four years such that the option will be fully vested on March 12, 2022.